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European Commission Decision on Unbundling the Payment for Research with Commissions
Special Presenter: Duncan Higgins, ITG Who are the parties involved on Unbundling Commissions in Europe? European Council & European Parliament European Commission, “EC” European Securities and Markets Authority, “ESMA” Financial […] Read More
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FINRA Cybersecurity Report/eSentire
Special Presenter: J. Paul Haynes, eSentire On February 2, 2015 FINRA released a report for financial firms on cybersecurity practices. Information found in the report is based on various assessment […] Read More
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Preview on STA Tick Letter
As most if not all of you already know the comment period on the proposed NMS Plan to implement a Tick Size Pilot Program closes this Monday, December 22nd. STA […] Read More
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FINRA CARDS
Special Presenter: Mike Rufino, FINRA This evening we will be featuring FINRA’s requests for comments on a rule proposal to implement the Comprehensive Automated Risk Data System, better known as […] Read More
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STA Buy Side Member Initiatives
Market Structure & Regulation – which issues are impacting trading the most? Regulation ATS & Transparency in Dark Pools; What information can be made publically available which today in only […] Read More
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Defining Front Running & Insider Trading in Today’s Markets
This call has no materials. Read More
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SEC MIDAS System
Special Presenter: Charles Collver, SEC Office of Analytics and Research In the aftermath of the Flash Crash in 2010, it became clear that technology has progressed so far and so […] Read More
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FINRA’s Regulatory Notice 14-07; ATS Reporting
Special Presenter: Chris Stone, FINRA On January 17, 2014, the SEC approved two (2) proposed FINRA rule changes; (i) adopt FINRA Rule 4552 which requires each ATS to report to […] Read More
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Hill Visits and Congressional Preview for 2014
Special Presenter: Joel Oswald, Williams & Jensen A synopsis of the some of the more relevant issues in DC Full Open Call transcript (PDF)> Read More
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Volcker Rule
Tonight we will be discussing the current state and next steps for the recently passed Volcker Rule. As we pointed out in a previous notice for this open call, the […] Read More